Rahul Firke Email: adcjkh@r.postjobfree.com

Principal Business System Analyst Phone: +1-203-***-****

15+ years of experience of Information Technology in Investment Management domain, with an emphasis on Business and System analysis. Worked closely with various project stakeholders, SME’s, and staff to understand and document business requirements, functional requirements and design specifications for new applications along with enhancements to the existing applications. Researched, created, reviewed, and revised requirements document and use cases. Rendered support to the Project Manager throughout the project’s lifecycle including: development of project scope; collection and documentation of business requirements, preparation of related process documentation, preparation of change control documents, and coordination of system, integration & user acceptance testing.

Broad understanding and knowledge of Investment Management across Fixed Income, Equities and Derivative (ETD & OTC) securities.

Strong knowledge of Reference data in investment management process. (Like Security Master, Portfolios, Counterparty, Settlement Instructions etc)

Experience in supporting systems and processes for Front Office, Middle Office and back Office operations.

Skilled at performing Gap Analysis, Risk Analysis, and Cost/Benefit analysis, along with good knowledge of process workflows tools (Microsoft Visio) and techniques.

Adept at preparing business requirements documents (BRD’s), data flow diagrams (DFD's), Use cases, defining project plans, writing system requirements specifications, and delivering project/status reports.

Experience in conducting/facilitating JAD sessions with superior organization and presentation skills.

Experience in SWFIT & FpML message formats for trade communication.

Proficient in understanding and writing SQL & PL/SQL queries.

Understanding of ITIL framework for IT development and IT Operations.

Experience with Agile Software Development Lifecycle methodology

Experience in managing vendor system delivery and relationship.

Understanding of SOX Act and create related required documentation.

Excellent written and oral communications skills with results-oriented attitude.

Financial Products Knowledge

All fixed Income bonds, Equities and Derivatives (Forwards, Futures, Options, and Swaps (CDS/CDX/TRS/IRS))

Vendor Products Knowledge

OMS (Order Management System): Latent Zero Minerva

Compliance Check System: Latent Zero Sentinel

Mortgage Pool Allocation Systems: MBS Expert

Execution management System: Trade Web, Market Axess

Trade Confirmation System: Omgeo OASYS

Reference data Providers: Bloomberg & Markit.

ETL tool: Markit EDM (CADIS)

ITIL tool: Service Now

Collaboration tool: JIRA, Confluence, SharePoint

Technical Skills

Java, .NET, SQL, PL SQL, XML, XSL, IBM MQ series, FpML, SWIFT

Knowledge of AWS (Amazon Web Services)

Education

Bachelor of engineering (Computer Science), University of Mumbai (July 2004)

Professional Experience

Business System Analyst - Compliance- Consultant October 2018 – Current

Wellington Management, Boston, USA

Investment Compliance – Sentinel

Responsibilities :

• Planning, design, implementation, maintenance, support, and enhancement of the complex applications used by Wellington’s Guideline Monitoring team.

• Partner with Business Functions to identify and document business requirements for new

capabilities. This includes working closely with the Guideline Monitoring business team and

managing relationships with business owners across different departments.

• Creation and Analysis of business requirements to provide direction into solution designs, project

estimates, and manage overall delivery.

• Partnering effectively with internal Development & QA teams to deliver Solutions.

• Interaction with other Business, IT, and Data teams within Wellington to ensure effective

integration with portfolio management and trading tools

Projects

oIntegrating with Reference Data system to get MSCI Social restrictions data in Sentinel.

oOnboarding Kroll & Morningstar credit ratings in Sentinel

oNon Investible Universe solution for Portfolio Analysts

oMigration of all Intraday Flows (Account, Allocation, Holding, Instruments, Issuers) from old technology (IBM eSQL) to Java

oCreating Analytics in Sentinel

(Technologies: Sentinel – Compliance system, SQL, PL\SQL, JIRA, Confluence, AWS)

Principle Business Analyst – Full Time June 2014 – July 2018

Nomura Services India Pvt. Ltd., Mumbai, India

OTC Confirm Tracker & Cash manager

For OTC derivatives, back office uses in house developed Confirm Tracker application for managing trade confirmations (electronic SWIFT, DTCC & Paper) and Cash Manager for managing Pre-Settlement activities.

As a part of CTB (Change the Bank) Performed SME role for analyzing and executing multiple project requirements related to these business processes. Key projects

-FpML Mapping for Structured OTC products

-Cash flow netting rules & Auto matching functionality

-Data Migration

(Technologies: SWIFT, FpML, XML, PL\SQL, JIRA, Confluence)

LEP (Legal Entity Program)

In effort to reduce balance sheet requirements of various entities, standardize entity structure & trade booking models; Nomura has setup enterprise level LEP program. As a part of this program new entities were setup, for existing entities booking models were standardized. Below are key activities of program for which performed SME role in OTC derivatives area.

-Ready to trade – Onboard new clients on new entity

-Market Risk Transfer – Nomura Internal entity movement

-Client Novation’s – One client moves from one Nomura entity to other Nomura entity

-Analyzed & developed 4Way Novation support for OTC derivatives (both Paper & Electronic confirmations)

-BREXIT entity setup

-Funding only entity setup

NEWS (Nomura Exception Workflow System)

As a part of Trade confirmation, pre & post settlement process, Nomura operations had lot of manual procedures, maintained static data in excels, built lot of macros in excel to do counterparty & Internal (FO & MO) communications.

As business grows this is not sustainable as well due to strict regulatory timelines & audit requirement system was needed which will

1.Automate manual steps & reference data enrichment

2.Standardize workflow across all asset classes

3.Get KRIs & Efficiency related metrics

-Responsible for gathering requirements from operation users.

-Solution architect for the building the system from scratch, defining workflows, UI screens, Dashboards, solution static data requirement using Reference data application.

-BRD & FSD creation.

-Agile methodology for development.

(Technologies: Service Now, Informatica, SQL, JIRA, Confluence)

Business System Analyst - Consultant Feb 2013 – April 2014

Bridgewater Associates, LP (Hedge Fund)- Westport, CT, USA

Back office Transformation (Data Integration Hub)

As a part of outsourcing back office operations client requirement is to build interface called “DI Hub” (Using Markit EDM (CADIS) platform), which is responsible for taking trade messages from different OMS systems in different formats, enrich it with reference data and communicate to bank in industry standard messages (SWIFT & FpML). Also build User Interface for managing exceptions for this trade communication.

-Responsible for creating BRD’s, FRD’s, business use cases and test cases documents.

-Responsible for understanding and gathering requirements of SWFIT & FpML message types across different asset classes.

-Responsible for mapping OMS trade extracts data elements to SWIFT/FpML tags.

-Responsible for understanding, defining & designing reference data required for trade enrichment.

-Responsible for working with Front office to fill gaps which are required for SWIFT/FpML but missing in OMS trade extract.

-Responsible for doing gap analysis of business processes related to trade communication, document those process gaps and design solution of high risk gaps.

-Gather requirements for UI by conducting meeting with various business users.

-Convert high-level business requirements into low-level technical requirements and hand it over to development team.

-Assist development team in designing the technical solution.

-Assist testing team for creating test plan & provide support during various phases of testing.

-Co-ordinate with Trade Operation business users for UAT and Sign Off.

(Technologies: SWIFT, FpML, Markit EDM (CADIS), XML, PL\SQL, HP Quality Center, Microsoft SharePoint)

Business System Analyst - Consultant Jan 2007 – Jan 2013

GE Asset Management-Stamford, CT, USA

Trade Order Management System

Primary role was to understand, document existing trading workflows and implement the complete Trade Order management system using Fidessa’s Latent Zero products (Minerva, Sentinel & Tesseract) for all Fixed Income asset classes.

-Meetings with various business stake holders to gather requirements for new system.

-Documenting workflow diagrams using Microsoft Visio.

-Responsible for doing system integration between trading system and downstream systems (Accounting & Custody) for STP (Straight thought processing) of trades.

-Work with web development team for implementing the functionality that was not available in LZ products. Like creating security setup templates, Broker, Account and settlement Instruction Setup.

-Created Prototype for web screens.

-Managed Vendor relationship for bug fixes & enhancement deliverables.

-Co-ordinate and manage onsite and offshore development teams.

-Co-ordinate with PM’s, Trader’s, Data & Trade Operation users for UAT and Sign Off.

-Create documentation for Change Management Process.

(Technologies: XML, XSL, IBM MQ, Java, JSP, PL\SQL, Crystal Reports, HP Quality Center)

Security Master Data Management (MDM)

This project was implemented in GEAM to standardize the Security Master data across multiple systems like trading system, reporting system, data warehouse etc.

Primary responsibility for this project was subject matter expert for Fixed Income Trading system.

-Document and provide the current security master setup templates & sourcing logic for each reference data element.

-Analyzed all the security master fields and come up with list of fields that are required for trading system & compliance system.

-Design the data and system flow to take the security master feed from MDM (Golden Source) system into trading system (LZ Minerva).

-Utilize Quality Center tool for Tracking testing progress and defect management.

-Co-ordinate with users from different departments (Trading Desk, Compliance, Operations) for UAT and get the sign off.

-Prepare the data conversion scripts for production go-live.

(Technologies: XML, XSL, IBM MQ, PL\SQL, HP Quality Center)

LZ-Oasys Workstation Integration

This project is being implemented for reducing manual efforts (by 75%) required by Trade Operations team for Trade confirmation with brokers.

-Responsible for key data analysis to come up with approximate manual effort reduction & cost/benefit analysis.

-Responsible for configuring, coding and testing the systems.

-Worked with vendor Omgeo for system setup, Configuration and test the connectivity.

-Created IT and user test case documents for testing various business and system status scenarios.

(Technologies: XML, XSL, IBM MQ, PL\SQL, HP Quality Center)

LZ-MBS Expert Integration

Primary role was to understand existing system and data flows between Bloomberg & TBA Trader systems and implement the same using LZ Minerva and MBS Expert system. This provided significant reduction in manual work of IT and Trade Operations users compared to existing process. This new systems helped to get system stability for critical process of TBA Pool allocation.

-Implemented this project using Six-Sigma Lean Technique.

-Worked with vendor & infrastructure team to setup dedicated network line between GEAM & Broadridge.

-Designed & Implemented data flow using IBM MQ between Minerva and MBS expert.

-Designed & Implemented critical feed of TBA pool trades to accounting & custody system.

-Co-ordinate and manage multiple development teams involved.

-Co-ordinate with users for UAT and Sign Off.

-Create documentation for Change Management Process.

(Technologies: XML, XSL, IBM MQ, Java, JSP, PL\SQL, HP Quality Center)

Production Support & RTS Task (Ready to Serve)

-Responsible for Production Support to all Fixed Income department users. Providing System as well as business process level support in case of any issue.

-Responsible for completing yearly SOX documentation related to trading system for Audit purposes.

-Responsible for maintaining & testing disaster recovery site for Fixed Income department systems.

-Followed the ITIL framework using Service Now application for IT development projects and Production support issues.

-Conducting Knowledge Transfer sessions for new Client managers and Team members.

-Responsible for preparing and presenting MBR (Month Business Review) presentation which provided client to take critical decision for resource management.

(Technologies: XML, XSL, IBM MQ, Java, JSP, PL\SQL, Crystal Reports)

Senior Software Developer – Consultant Oct 2004 – Dec 2006

GE CPS (Now Amex) – Offshore location Mumbai

Roles & Responsibilities

-Production Support and Bug fixes of SAM Application. SAM (Strategic Account Management) is a web based in house build online application for managing Corporate Credit Card program.

-Working with ITA (Information Technology Analyst) to get client report and standalone utility requirements.

-Responsible for developing key output files & reports based on customer’s needs from SAM application using PL/SQL queries, Crustal Reports and VB programing.

-As a part of Migration Project (ASP to Java) convert VB codes into Java & Java Swing.

-Handled team of 4 team members by doing Task Allocations, taking daily updates and doing weekly meetings.

-Responsible for following SDLC and complete required documents of each Phase.

(Technologies: Java, Java Swing, HTML, JSP, ASP, VB, PL\SQL)

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